Illustrative Customer Due Diligence Templates Page 4
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25EP 200 IG 2
CUSTOMER DUE DILIGENCE (CDD) FLOWCHART AND TEMPLATES AND RISK
ASSESSMENT TEMPLATES
The flowcharts, templates and forms provided in EP 200 IG 2 are illustrations that firms providing the
services listed in paragraph 1.5 of EP 200 may refer to. As they relate to the services listed in paragraph
1.5 of EP 200, the CDD measures are more robust and may be referred to as a best practice guide for
professional firms engaged to perform other types of services. The templates and forms are not
prescriptive and should be tailored and adapted as needed in the professional firm’s professional
judgment. Information for internal office use are marked with the “○” symbol.
The following flowchart illustrates how the CDD process is carried out.
For natural person(s): Complete CDD form
on pages 5-6.
For legal person(s): Complete CDD form on
pages 7-8.
For each beneficial owner that the client has,
No
complete Form A (pages 9-10).
Does the client qualify for any of the exemptions
found in Annex 1 (page 24)?
(For legal persons) If no beneficial owner is
identified, complete Form B (pages 11-12)
Yes
For each agent that the client has, complete
Form C (pages 13-14).
For each PEP, complete Form D (pages 15-
Yes
Is there one or more politically exposed
16)
person(s) involved?
No
Obtain senior management approval using
Not low risk
the form on page 22 prior to completing the
Conduct risk assessment using the
Enhanced CDD form found on page 23
form found on pages 17-21
Normal
Verify the information obtained using the
Verify the information obtained using the normal
enhanced CDD checklist. Upon successful
CDD checklist. Upon successful verification,
verification, proceed with client onboarding.
proceed with client onboarding.
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